Compliance Functions Sample Clauses

Compliance Functions. (1) Prepare and maintain those books and records required by Rule 31a-1 under the1940 Act with respect to services performed pursuant to this Agreement.
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Compliance Functions. TIAA shall institute and maintain on behalf of CREF a regulatory compliance program reasonably designed to satisfy all applicable state and federal legal or regulatory obligations of CREF. TIAA generally will monitor CREF’s compliance with the Federal Securities Laws (as defined in the Agreement), state securities and insurance laws, the IRC and ERISA.
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Compliance Functions. BGN shall provide to Gaslink all such Information as Gaslink may reasonably require to enable Gaslink to prepare reports to the Commission in respect of compliance by Gaslink with the System Operator Licences.
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Compliance Functions. All information technology and telecommunication support services reasonably related to the Services that are required for Sears and its Affiliates to meet (A) requirements imposed by federal, state and local laws and regulations, and (B) their internal and external audit and compliance requirements.
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Compliance Functions. Hydro USA shall continue to maintain the following compliance functions: Central Quality (also known as “Quality”); Compliance; Internal Audit; Legal; Central Environmental Group (“CEG”); Health, Safety, and Environmental (“HSE”); and Operational Excellence (“OPEX”)2 throughout Hydro USA’s operations, facilities, and subsidiaries. If Hydro USA makes any substantive changes to these functions, Hydro USA shall provide a summary of such changes to the EPA Authorized Representative and Independent Monitor as an attachment to the Annual Report covering the period in which the change was made.
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Compliance Functions. The Administrator shall provide the Chief Financial Officer and Chief Compliance Officer of the Corporation with (or arrange for the provision of) professional staff support to assist the Corporation in the areas of compliance and risk management as follows:
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Compliance Functions. The Certifier will take such steps as he or she considers appropriate to address any of the following matters relating to the development; Non-compliance with the development consent The carrying out of work without development consent An unauthorised use of a building A breach of a law relating to the carrying out of work or the use of land A threat to the safety of a person or a person’s property Any other matter the Certifier considers to be in the public interest to address. Without limiting the actions that the Certifier may take, the Certifier may: Attend the Site or nearby properties to inspect any issue of concern relating to the development Confer with any person in relation to any issues of concern Cause correspondence to be issued to any person Refer any matter of concern to such persons or authorities as the Certifier considers appropriate, including the consent authority, the council, NSW Fair Trading or an environmental protection agency. Issue notices under Section 6.31 (previously s 109L) of the EP&A Act. Variations to the Services The following may result in a Variation under the Agreement: conceptual design changes made subsequent to the Commencement Date; allowances reasonably estimated in the Fee Proposal for particular parts of the Services being significantly exceeded; design amendments necessary subsequent to the issue of the Construction Certificate, requiring a revised Construction Certificate to be assessed and issued; staging of Construction Certificates or Occupation Certificates not already allowed for as part of the Fee Proposal; re-inspections arising from non-compliance work; time associated with any correspondence or other communications required by the Certifier in relation to any queries or complaints which may be made by neighbours or other members of the public to the Certifier in the Certifier's capacity as PCA; an Occupation Certificate sought more than 6 months from the date the Services were completed; a pre-commencement inspection more than 4 weeks prior to the issue of the Construction Certificate. If there is a delay in the program or in the issue of required documentation to the Certifier that causes this time frame to be missed, the Certifier may carry out another pre-commencement inspection and charge the Client; Certifications and other reports to be provided Significant alterations, extensions, or new works to key fire services must have both the design and completed works certified as compliant to the Certi...
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Related to Compliance Functions

  • Reporting Functions (i) Monthly Servicer's Certificate. On or before each Remittance ------------------------------- Date, the Servicer shall prepare and deliver to the Note Issuer, the Note Trustee, the Certificate Trustee and the Infrastructure Bank a written report substantially in the form of Exhibit A hereto (a --------- "Monthly Servicer's Certificate") setting forth certain information relating to FTA Payments received by the Servicer during the Collection Period preceding such Monthly Remittance Date.

  • CUSTOMER SERVICE FUNCTIONS The Servicer shall handle all Customer inquiries and other Customer service matters according to the same procedures it uses to service Customers with respect to its own charges.

  • Centralized Functions The Bank of New York Mellon Corporation is a global financial organization that provides services to clients through its affiliates and subsidiaries in multiple jurisdictions (the “BNY Mellon Group”). The BNY Mellon Group may centralize functions including audit, accounting, risk, legal, compliance, sales, administration, product communication, relationship management, storage, compilation and analysis of customer-related data, and other functions (the “Centralized Functions”) in one or more affiliates, subsidiaries and third-party service providers. Solely in connection with the Centralized Functions, (i) the Fund consents to the disclosure of and authorizes the Custodian to disclose information regarding the Fund and the Accounts (“Customer-Related Data”) to the BNY Mellon Group and to its third-party service providers who are subject to confidentiality obligations with respect to such information and (ii) the Custodian may store the names and business contact information of the Fund’s employees and representatives on the systems or in the records of the BNY Mellon Group or its service providers. The BNY Mellon Group may aggregate Customer-Related Data with other data collected and/or calculated by the BNY Mellon Group, and notwithstanding anything in this Agreement to the contrary the BNY Mellon Group will own all such aggregated data, provided that the BNY Mellon Group shall not distribute the aggregated data in a format that identifies Customer-Related Data with the Fund. The Fund confirms that it is authorized to consent to the foregoing and that the disclosure and storage of information in connection with the Centralized Functions does not violate any relevant data protection legislation.

  • Compliance Reporting a. Provide reports to the Securities and Exchange Commission, the National Association of Securities Dealers and the States in which the Fund is registered.

  • Duties and Functions 23.2.1 The Independent Engineer shall discharge its duties and functions substantially in accordance with the terms of reference set forth in Schedule-Q.

  • Compliance Services (a) If Schedule I contains a requirement for the BNY to provide the Fund with compliance services, such services shall be provided pursuant to the terms of this Section 6 (the “Compliance Services”). The precise compliance review and testing services to be provided shall be as mutually agreed between the BNY and each Fund, and the results of the BNY’s Compliance Services shall be detailed in a compliance summary report (the “Compliance Summary Report”) prepared on a periodic basis as mutually agreed. Each Compliance Summary Report shall be subject to review and approval by the Fund. The BNY shall have no responsibility or obligation to provide Compliance Services other that those services specifically listed in Schedule I.

  • Compliance Program The Company has established and administers a compliance program applicable to the Company, to assist the Company and the directors, officers and employees of the Company in complying with applicable regulatory guidelines (including, without limitation, those administered by the FDA, the EMA, and any other foreign, federal, state or local governmental or regulatory authority performing functions similar to those performed by the FDA or EMA); except where such noncompliance would not reasonably be expected to have a Material Adverse Effect.

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